Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue:

- SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals

- SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure

- CFTC Grants Order of Registration to Tokyo Commodity Exchange

- NFA Increases Minimum Security Deposits for Forex Transactions

- Tenth Circuit Affirms Dismissal of Securities Class Action for Failing to Plead Scienter Under the PSLRA

- Federal Prosecutors Charge Canadian Trader in "Layering" Scheme

- OCC Issues New Comptroller's Handbook Sections Relating to Securities Compliance, Litigation and Conflicts of Interest

- CFPB Finalizes Minor Changes to "Know Before You Owe" Mortgage Rules

- HSR Act Thresholds to Rise on February 20

- ESMA and Hong Kong SFC Agree MoU for Covered CCP Supervision

- Excerpt from SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals:

On January 16, Securities and Exchange Commission Chair Mary Jo White announced that she has directed the SEC’s staff (Staff) to review Rule 14a-8(i)(9) promulgated under the Securities Exchange Act of 1934, which allows an issuer to exclude a shareholder proposal that “directly conflicts” with one of the issuer’s own proposals. Chair White’s directive is a result of uncertainty created by the Staff’s no-action letter issued to Whole Foods Market, Inc...

Please see full Newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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